This checklist audits IMS1 Section 1, from the update log and scope to document control, personal data and the legal register.
Prepared using the F-Q2A Audit Checklist form template.
The file is supplied in fully editable MS Word format and can be easily customised, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:
- Checklist number and title
- Information-classification
- Version
- Page number / total pages
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IMS1 Section 1 Audit Checklist Template - Integrated Management System
An audit checklist for Section 1 of the alphaZ IMS1 Integrated Management System Manual, covering the management system itself, the scope and context of the organisation, document control and legal compliance. Each question is referenced to its IMS1 section. It is set out on the F-Q2A Audit Checklist format, with the scope, criteria, site, participants, auditor and date recorded at the top, and each question alongside the auditee and the evidence viewed, response and findings.
Areas Covered
- 1.1 Update log - changes recorded since issue, and review in the last 12 months
- 1.2 Company profile, management system and scope - company details, sites, insurances and permits, and a scope that reflects what the company does, with any exclusions justified
- 1.3 Context of the organisation - the SWOT and PESTLE review on F-IMS23, climate change and F-IMS38, F-IMS22 Interested Parties Register, and values and ethical behaviour in practice
- 1.4 Interaction of processes - the overview of key processes and the clause by clause correlation
- 1.5 Documented information and data - access to the IMS folder, controlled copies, F-IMS20 Document Register, draft and archive folders, information classification, F-IMS24 Personal Data Register and backups
- 1.6 Legal compliance - the pertinent legislation tables, the legal register, standards and codes of practice, evaluation of compliance, and updates
Carrying Out the Audit
Most of Section 1 can be checked at a desk with the IMS folder open, sampling documents from F-IMS20 and checking them in the folder and where they are used. The context and interested parties questions are worth discussing with top management, and the legal compliance questions need evidence such as licences and inspection certificates.
Planning the Audit
Have IMS1, the IMS folder, F-IMS20, F-IMS22, F-IMS23 and the legal register to hand, along with the record of the last management review.
Included in the ISO Toolkits
This checklist is part of the ISO 9001 Toolkit and is also included in the ISO 14001, ISO 45001, ISO 27001 and ISO 22301 toolkits, including the integrated toolkits that combine them.
Related Documents
Documents that work alongside this checklist:
Part of the IMS1 Audit Checklists
The IMS1 audit checklists follow the sections of the alphaZ IMS1 manual. The IMS1 ISO 9001 Checklist covers Sections 1 to 5 in one audit, and the checklists for Section 1, Section 2, Section 3, Section 4 and Section 5 let the audit be spread across the year using the ER11 Audit Schedule. The results can be written up using the F-Q31 Audit Report.
Not Using IMS1?
For a management system that is not built on IMS1, the Management System Documentation Management System Audit Checklist covers the same ground without the IMS1 references.
Using the Findings
Out of date documents, registers that have not been reviewed or gaps in legal compliance are raised as actions, with any legal requirement not being met dealt with straight away.
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